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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-11-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital One Sharebuilder, Inc. | Houston | TX | 01/2015 | 05/2018 |
| Sharebuilder 401K | Seattle | WA | 01/2015 | 05/2018 |
| Wells Fargo Clearing Services, Llc | Houston | TX | 05/2018 | 06/2020 |
| Fsc Securities Corporation | Cypress | TX | 07/2020 | 11/2023 |
| Osaic Wealth, Inc. | Cypress | TX | 11/2023 | Present |
1. TAURUS WEALTH ADVISORS POSITION: President-Wealth Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/16/2020 ADDRESS: 15215 Thompson Ridge Dr, Cypress TX 77429, United States DESCRIPTION: Engage in administration of my financial management business. 2. JOHN HOLMES INSURANCE AGENT POSITION: Insurance agent NATURE: Insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/01/2020 ADDRESS: 15215 Thompson Ridge Dr., Cypress TX 77429, United States DESCRIPTION: sales or service of insurance related business, as needed by client need.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 2007-07-19 |
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